Brian Davis: Why Was UBS Advisor Fired from Morgan Stanley?

Greenville, Delaware financial advisor Brian Davis (CRD# 1269412) was fired by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, having previously been registered with Morgan Stanley.

Mr. Davis’s BrokerCheck report discloses his firing from Morgan Stanley. Filed in June 2024, it states that the firm terminated his registration in connection with allegations involving “conflicts of interest with a customer arising from fiduciary appointments not fully disclosed to the firm and lack of full cooperation in a review.”

UBS Financial Services’ website includes a page describing the firm’s investment services, including planning, investing, banking, and charitable giving. “At UBS, we offer a wide range of solutions and services to support you along your financial journey,” it explains. “Our Financial Advisors are committed to learning about your unique financial goals and creating an overall wealth strategy that supports you at every stage of life… With our Advisors’ invaluable expertise and our firm’s expansive global resources, you can be confident they’ll deliver what you need when you need it.”

Morgan Stanley’s website also includes a page describing the firm’s investment services. “We are active managers of capital, working to outperform the market and deliver results for our clients,” it states. “Our long-tenured professionals apply their experience and expertise across public and private markets worldwide, in single-sector, multi-asset and custom solutions.”

According to the Financial Industry Regulatory Authority, Brian Davis holds 40 years of securities industry experience. Based in Greenville, Delaware, he has been registered as a broker and an investment advisor with UBS Financial Services since 2024. His past registrations include Morgan Stanley, Citigroup Global Markets, and Morgan Stanley DW. His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Municipal Securities Representative Examination, or Series 52TO; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in California, Georgia, Illinois, Maryland, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Vermont, Virginia, Washington, and Wyoming. (Information current as of August 4, 2024.)

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